December 09
Resilient e-Communications Networks
Good Practice Guide on National Exercises
Enhancing the Resilience of Publ...
Good Practice Guide on Exercises2
Good Practice Guide on National Exercises
3
Acknowledgements
This report is part of ENISA’s Multi-annual Thematic Program ...
Good Practice Guide on National Exercises4
Table of Contents
1 Introduction .................................................
Table of contents
5
4.5 Recruiting and Considering Incentives for the Exercise Participants ............................35...
Good Practice Guide on National Exercises6
Executive Summary
The European Commission and Member States are focusing attent...
Appendix E – Definitions
7
o Planning is a large endeavour that often exceeds expectations in terms of resources,
budget a...
Good Practice Guide on National Exercises8
 Evaluating the Exercise:
o Give the evaluation process a high level of commit...
Appendix E – Definitions
9
1 Introduction
1.1 Policy Context
In recent years, the use of public eCommunications networks h...
Good Practice Guide on National Exercises10
Via the CIIP Action Plan, the European Commission invited Member States to dev...
Appendix E – Definitions
11
initially with questionnaires distributed to these experts. The experts were located primarily...
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2 Overview of Exercises
2.1 Benefits of Network Security and Resilience Exerci...
Appendix E – Definitions
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Example 2: A flood causes widespread failures in a telecoms network, knocks out electrical pow...
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In such a scenario, some means for quickly sharing information across these or...
Appendix E – Definitions
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 Identifying weaknesses in incident response procedures,
 Targeting action plans for improve...
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Figure 1: Lifecycle of an Exercise with the Exercise Roles
These lifecycle seg...
Appendix E – Definitions
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3. Executing the exercise: In this segment, the exercise itself takes place. As specified in t...
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o Setting up and dismantling the exercise environment;
o Starting and ending t...
Appendix E – Definitions
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3 Identifying the Exercise
At the beginning of the exercise life-cycle, the organizers will ne...
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 The measures and processes to be tested. Accordingly, the exercise might foc...
Appendix E – Definitions
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 Keep in mind that the resources available for an exercise, the commitment of participants, a...
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Some examples of measures tested include:
 The common situational awareness o...
Appendix E – Definitions
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 Consider some alternative measures of similarly high priority for testing.
 Identify the st...
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3.4 Types of Exercises
There are many different kinds of exercises that you ma...
Appendix E – Definitions
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Operations-Based Exercises
Operations-based exercises enable the testing of procedures and ens...
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will likely include multiple types, in order to test all of the measures that ...
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The decisions about key participants should be made early in the planning process, to involve ...
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 Give training to large numbers of
participants at all levels
 Reveal interd...
Appendix E – Definitions
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Aside from the logistics of planning and the benefits of participation, it is perhaps even mor...
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4 Planning the Exercise
Now that you have made decisions about the needs that ...
Appendix E – Definitions
31
4.1 Leading the Exercise Planning
Before starting the planning process in earnest, you must fi...
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4.2 Duration
Many of the experts interviewed for this guide emphasized that th...
Appendix E – Definitions
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 For the first exercise, allow extra time. That enables you to ensure commitment from key
par...
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 Think tanks;
 Technology vendors and solution providers;
 Non-profit organ...
Appendix E – Definitions
35
these elements of the scenario require security clearances. Organizers will have to cope with ...
Good Practice Guide on National Exercises36
Reluctant Participants
As noted in the previous section, desired participants ...
Appendix E – Definitions
37
Raising Awareness About Benefits of Exercises
The first step in recruiting participants, espec...
Good Practice Guide on National Exercises38
This gradual process can convince stakeholders of the need for an exercise, th...
Appendix E – Definitions
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 Conducting exercises, of course;
 Ensuring that there is no public criticism of the company...
Good Practice Guide on National Exercises40
 Where trust is already well established, organizers can use that trust to mo...
Appendix E – Definitions
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participants completely fail. Moderators will need to balance the pressure throughout the exer...
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 Relay injects and other necessary information to participants
 Answer parti...
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 External monitors are recommended for exercises in which organizers expect to obtain a full
...
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There can be various other reasons planners may wish to invite other observers...
Appendix E – Definitions
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relations policy for exercises that ensures sanitized information about the exercise and parti...
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on what exactly to observe, how to measure it, what to record, how to record i...
Appendix E – Definitions
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5 Conducting the Exercise
Once advance planning is completed, the exercise itself will be cond...
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These briefings may be oral, written, or both.
In some cases, this information...
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 Take the incoming information on decisions and actions taken by the various participants;
 ...
Good Practice Guide on National Exercises50
 Ensure that there is a central exercise management team prepared to control ...
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
National exercises good practice guide
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National exercises good practice guide

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  • 1. December 09 Resilient e-Communications Networks Good Practice Guide on National Exercises Enhancing the Resilience of Public Communications Networks
  • 2. Good Practice Guide on Exercises2
  • 3. Good Practice Guide on National Exercises 3 Acknowledgements This report is part of ENISA’s Multi-annual Thematic Program One (MTP 1), Resilience of Public e- Communication Networks. With this Program the Agency, among others, takes stock of and analyses Member States (MS) regulatory and policy environments related to resilience of public e-Communication Networks. This report is based on the responses given by experts from public and private stakeholders from several Member States and overseas. ENISA would like to thank them all for their excellent contributions and insights. ENISA would also like to thank IDC CEMA for their professionalism and dedication to manage the stock taking and contribute to this report. Contact details More information on this report or ENISA’s activities on the resilience of public eCommunications Networks can be obtained by Dr. Vangelis Ouzounis Senior Expert, Network Security Policies, ENISA Email: resilience@enisa.europa.eu, Web: http://www.enisa.europa.eu/act/res Legal notice Notice must be taken that this publication represents the views and interpretations of the authors and editors, unless stated otherwise. This publication should not be construed to be an action of ENISA or the ENISA bodies unless adopted pursuant to the ENISA Regulation (EC) No 460/2004. This publication does not necessarily represent state-of the-art and it might be updated from time to time. Third-party sources are quoted as appropriate. ENISA is not responsible for the content of the external sources including external websites referenced in this publication. This publication is intended for educational and information purposes only. Neither ENISA nor any person acting on its behalf is responsible for the use that might be made of the information contained in this publication. Reproduction is authorised provided the source is acknowledged. © European Network and Information Security Agency (ENISA), 2009
  • 4. Good Practice Guide on National Exercises4 Table of Contents 1 Introduction ........................................................................................................................................ 9 1.1 Policy Context ................................................................................................................. 9 1.2 Scope and Audience....................................................................................................... 10 1.3 Methodology.................................................................................................................. 10 1.4 Structure - How to Use It............................................................................................... 11 2 Overview of Exercises...................................................................................................................... 12 2.1 Benefits of Network Security and Resilience Exercises................................................ 12 2.2 Exercise Life-Cycle ....................................................................................................... 15 2.3 Exercise Roles ............................................................................................................... 17 3 Identifying the Exercise.................................................................................................................... 19 3.1 Questions for Organizers ............................................................................................... 19 3.2 Measures and Processes to be Tested ............................................................................ 21 3.3 Choosing Ideas for a High-Level Scenario.................................................................... 23 3.4 Types of Exercises......................................................................................................... 24 3.5 Participants Involved ..................................................................................................... 26 3.6 Size of Exercise ............................................................................................................. 27 3.7 Geographic Scope.......................................................................................................... 28 4 Planning the Exercise ....................................................................................................................... 30 4.1 Leading the Exercise Planning ...................................................................................... 31 4.2 Duration......................................................................................................................... 32 4.3 Participants in the Planning ........................................................................................... 33 4.4 Coping with Confidentiality and Intelligence Issues..................................................... 34
  • 5. Table of contents 5 4.5 Recruiting and Considering Incentives for the Exercise Participants ............................35 4.6 Developing the Scenario ................................................................................................40 4.7 Monitors and Monitoring ...............................................................................................41 4.8 Observers........................................................................................................................43 4.9 Deciding on a Media Policy...........................................................................................44 4.10 Other Materials...............................................................................................................45 5 Conducting the Exercise ...................................................................................................................47 5.1 Training of Participants..................................................................................................47 5.2 Monitoring......................................................................................................................48 5.3 Scenario Injects ..............................................................................................................50 5.4 Media During the Exercise.............................................................................................51 6 Evaluation of the Exercise ................................................................................................................52 6.1 Setting Objectives ..........................................................................................................53 6.2 After-Action Review......................................................................................................53 6.3 Media After the Exercise................................................................................................58 6.4 Measuring Success .........................................................................................................58 7 Building Toward Transnational or Pan European Exercises.............................................................61 8 Appendix A – Checklist for Organizers and Planners ......................................................................63 9 Appendix B – Profile of Contributors...............................................................................................66 10 Appendix C – Exercise Examples..................................................................................68 11 Appendix D – Resources Available Online....................................................................72 12 Appendix E – Questionnaire Used For This Guide........................................................74 13 Appendix F – Definitions and Abbreviations.................................................................77
  • 6. Good Practice Guide on National Exercises6 Executive Summary The European Commission and Member States are focusing attention on the role that exercises can play in increasing the resilience of public eCommunications networks. Exercises enable national competent authorities responsible for public communications networks to target specific weaknesses, increase cooperation across the sector, identify interdependencies, stimulate improvements in continuity planning, and generate a culture of cooperative effort to boost resilience. Several Member States have been conducting exercises for years, including a wide range of discussion- based exercises and operations-based exercises. Those conducting exercises experienced all benefits mentioned above. As a result, momentum and interest on exercises among relevant stakeholders is spreading. ENISA prepared a good practice guide to assist authorities in Member States to better understand the complexities of exercises and help them prepare local and national ones. This guide was prepared by interviewing experts on exercises throughout the EU and beyond with the aim to identify good practices that were already applied and proved to be effective. This guide examines these practices by first giving an introduction to the subject of exercises, then reviewing the life-cycle of an exercise (identifying, planning, conducting, and evaluating) systematically. Also, the roles of the involved stakeholders are presented. Throughout the guide, good practices are highlighted for easy identification. Some of the key findings and practices discussed in this guide include:  Identifying the Exercise: o Identify the measures to be tested first. That includes identifying the processes that need testing, and the people involved in those processes. Then build the exercise (type, scenario, participants, etc.) around these critical factors. o Keep in mind potentially limiting factors, such as budget, resources, experience with exercises, and level of commitment of the desired participants. Where any of these factors are in short supply, it is best to start modestly with simple, small exercises, and then build up from there.  Planning the Exercise:
  • 7. Appendix E – Definitions 7 o Planning is a large endeavour that often exceeds expectations in terms of resources, budget and time required. Ensure that you have more than enough of all of these at the start of planning. o Include key exercise participants in the planning phase, in order to ensure that the exercise addresses the issues that they consider most important, that the scenario is as realistic as possible, and that participants are fully committed to the exercise. o Use a gradual planning process to build consensus, commitment and trust among participants. o Ensure that scenarios are realistic, that they prepare moderators for the varied responses and actions of participants, and that they include the necessary injects that drive the scenario along. o Ensure during planning that monitors are selected, trained, and outfitted with any necessary tools or materials, so that they can carry out their duties during the exercise without a hitch. o Consider the media’s role in the exercise, possibly providing scenario injects, as well as what policy you will want toward the media during and after the exercise. o Prepare all required tools and materials to enable all participants, monitors and other players to perform their duties effectively.  Conducting the Exercise: o Provide training or briefing for participants at the start of the exercise. The scenario must remain secret, but the participants will need to understand the general conditions, the rules of the exercise, their roles, and the roles of the monitors. And they may require some training, if special tools will be used to simulate their duties. o Ensure that there is a central exercise management team or moderator managing the scenario, while monitors sit closely with the teams of participants. The monitors will observe participants for the later evaluation, as well as report actions and decisions of the participants back to the moderator, and then take new information from the moderator in order to provide the scenario injects to participants. o You may need to notify the media in advance of the exercise, and possibly have a media policy in place for handling media inquiries during the exercise.
  • 8. Good Practice Guide on National Exercises8  Evaluating the Exercise: o Give the evaluation process a high level of commitment, in order to ensure that the lessons from the exercise are effectively learned and acted upon. o Avoid blaming participants or preparing a pass/fail-type of evaluation. It is crucial to generalize the conclusions and recommendations, in order to ensure that participants remain cooperative and willing to participate in future exercises. o Evaluation should be a process that includes participating stakeholders and builds consensus around the conclusions and recommendations. The process can also be extended to later follow-up on recommendations, develop an action plan, or otherwise develop forums for cooperatively addressing the issues raised in the exercise. o Consider how you will measure success of the exercise, and include steps that will enable you to measure. For example, surveys of participants before and after the exercise to measure changed perception of certain issues, or a survey at the end to evaluate the effectiveness of the planning and execution. Many more details are discussed in this guide. Still, this guide is but an introduction to many of these issues. To help take readers further, this guide also includes references to some additional materials that can help authorities to organize exercises to help take you further. Beyond the materials, the interviews with experts revealed that there is an enormous wealth of knowledge and experience with exercises from which others can learn. Just as one major benefit of exercises is to build cooperation across the sector, the interviewed experts expressed much interest in cooperation themselves. And for those new to exercises, one of the most effective steps you can take will be to participate with these experts in cooperative efforts across the EU, developing contacts, and asking further questions.
  • 9. Appendix E – Definitions 9 1 Introduction 1.1 Policy Context In recent years, the use of public eCommunications networks has expanded rapidly to encompass a far wider range of services and applications. This transformation, expansion, and broadening of uses continues unabated. These networks have become critical infrastructure for Europe’s Member States, public institutions, societies and economies. The European Union’s institutions have recognized the importance of public eCommunications networks and the need to expand the efforts to ensure their resilience. The Commission in the context of its i2010 Program (COM(2005) 229) issued a strategy for secure information society (COM(2006)251) giving emphasis on dialogue, partnership and empowerment. This strategy initiated a dialogue on the security and resilience of public communication infrastructures. The policy debate in the Council and the Parliament and the public consultation pave the way for the CIIP Communication in 2009 “Protecting Europe From Large Scale Cyber-Attacks And Disruptions: Enhancing Preparedness, Security And Resilience” (COM (2009) 149). This communication focused mostly on “prevention, preparedness, and awareness and defines a plan of immediate actions to strengthen the security and resilience of CIIs.” Among the actions proposed in this communication are steps to:  Improve coordination and cooperation across the EU;  Define a minimum level of capabilities of national and governmental CERTs;  Foster a European Public Private Partnership for Resilience (EP3R);  Develop principles and guidelines for Internet resilience;  And conduct pan-European exercises on large-scale network security incidents by the end of 2010, and prepare a proposed framework and roadmap for European participation in global exercises. The CIIP communication recognised that simulating incidents and running exercises to test response capabilities are strategic in enhancing the security and resilience of CIIs.
  • 10. Good Practice Guide on National Exercises10 Via the CIIP Action Plan, the European Commission invited Member States to develop national contingency plans and organise regular exercises for large scale networks security incident response and disaster recovery, as a step towards closer pan-European coordination. The involvement of ENISA was called upon to support the exchange of good practices between Member States in that area. The CIIP Action Plan further proposes the development of pan-European exercises on Internet security incidents, which may also constitute the operational platform for pan- European participation in international network security incidents exercises, like the US Cyber Storm. The Commission’s Communication was discussed at the EU Ministerial Conference on Critical Information Infrastructure Protection in Tallinn, Estonia in April 2009. After two days of discussion, the Member States and the Commissioner for Information Society, Viviane Reding, agreed on the “Tallinn process” to proceed with the objectives set out in the Commission’s communication, including conducting a pan-European exercise in 2010. Given this strong commitment to CIIP by both the EU institutions and the Member States, as well as the role designated to ENISA, and the objectives to proceed with pan-European exercises, ENISA has undertaken initially to help Member States and the EU institutions to proceed toward pan-European exercises by facilitating an exchange of ideas and experience with exercises and identification of good practices. This guide is a key element of this effort. 1.2 Scope and Audience This guide aims to support stakeholders to design, plan, execute and monitor a national exercise on the resilience of public communications networks. In particular, this guide aims to support public authorities that do not have significant experience in planning exercises. These exercises aim at testing the preparedness of a sector (or multiple sectors) to cope with and recover from incidents that disrupt or threaten the availability or the security of critical information infrastructures. It aims to help stakeholders to identify and develop the skills needed to identify measures and processes to be tested, plan, execute and evaluate sectoral and cross-sectoral exercises themselves and use this experience gained by the stakeholders to improve their measures and processes. 1.3 Methodology This guide was prepared by surveying and interviewing public authorities, network operators, IT industry players, and network security experts about their experiences, expertise, and recommendations for effective practices in planning and executing exercises. The project began
  • 11. Appendix E – Definitions 11 initially with questionnaires distributed to these experts. The experts were located primarily in the EU, though some were also located in other parts of the world, particularly in the United States. After distributing the questionnaires, the completed questionnaires were collected and arrange interviews with as many of the experts as possible. The questionnaires were initially sent out in July 2009, with interviews then taking place in August and September 2009. In total, 26 questionnaires were received, 29 interviews conducted, and a total of 32 organizations contributed either by the questionnaire, the interview, or both. In parallel to the survey and interviews, secondary research was also conducted to identify exercises and practices in the critical information infrastructure sector on other regions of the world. Furthermore, discussions with some key experts were followed up on some of the exercises and practices identified through this procedure. Following completion of this research, good practices were identified and assembled in this Good Practices document. The results of the research and the Good Practices guide were reviewed by ENISA, and also distributed to experts for commenting. As a result, this document represents a broad consensus of a wide selection of public and private-sector experts on good practices in preparing exercises to enhance resilience of critical information infrastructures and public eCommunications networks. 1.4 Structure - How to Use It This guide examines the good practices for organizing exercises by first giving an introduction to the subject of exercises, then reviewing the life-cycle of an exercise (identifying, planning, conducting, and evaluating) systematically. Each of these four life-cycle steps is reviewed in a separate chapter. Each chapter breaks down the discussion into sections that discuss the key issues that organizers will need to address while they are working through that step in the life-cycle. Examples and quotes from the interviews are included where relevant to reinforce provide the reader specific examples and expert views. Throughout the guide, good practices are presented in separate boxes for easy identification.
  • 12. Good Practice Guide on National Exercises12 2 Overview of Exercises 2.1 Benefits of Network Security and Resilience Exercises Exercises Inside an Organization Preparedness exercises have long been widely used in various sectors, and they have been adopted by many players in the ICT sector, especially telecoms network operators and computer emergency response teams (CERTs). Exercises are particularly useful for training staff on procedures to follow in the event of an emergency at some point in the future. They form an integral part of many organizations’ business continuity planning, as they provide crucial benefits:  Exercises ensure that staff are fully prepared and capable of responding to incidents by efficiently following business continuity and disaster recovery procedures.  Exercises can reveal weaknesses in those procedures, such as unexpected implications of a given type of incident, enabling managers to revise and improve the procedures. Interdependent Organizations Most exercises are conducted internally by an organization, to test preparedness for potential disruptions, attacks, or other emergencies. However, many incidents affect more than one organization. Interdependencies, and the Cascading Effects of Incidents Some incidents affect many different organizations at once, such as a natural disaster that damages many types of infrastructure at once. Additionally, many such incidents reveal interdependencies between organizations. Below are two examples. Example 1: An incident disrupts telephone calls in a given area, impacting other organizations  Such an incident may affect the calls of other telecoms operators that depend on part of that network.  Or it may disrupt the telephone services of emergency services in the area.  Or the disruption may prevent technicians in the area from being called in to fix an electrical outage.
  • 13. Appendix E – Definitions 13 Example 2: A flood causes widespread failures in a telecoms network, knocks out electrical power, makes key transportation routes unusable, and puts lives in danger. Such an incident involves numerous interdependencies:  The power outage may disrupt additional parts of the telecoms network.  The telecoms network outage may prevent technicians from being called to fix the electrical outage.  Technicians may not be able to reach the backup telecoms facilities, due to closed transportation routes.  People at risk may not be able to call emergency services for assistance.  Emergency services may not be able to coordinate their response to these diverse challenges. Etc. In such ways, incidents can cascade from one organization to another, often in complex ways. Cooperative Response Similarly, many incidents require more than one organization to work together in order to solve the problem. Example: A computer security attack occurs in which a botnet with widely scattered computers launches a distributed denial of service (DDoS) attack against a company’s servers. Such an incident may require a response from multiple organizations:  The company will need to take actions internally to cope with the attack.  Their network operator may assist by blocking some traffic or IP addresses.  Other organizations whose PCs have been infected and controlled by the botnet may need to disinfect the PCs and then coordinate with network operators and blacklist managers to unblock its IP traffic.  Software vendors may have security patches to fix the vulnerability that enabled infection by the botnet.  Other organizations (such as CERTs) may have been tracking this botnet’s activities, and may have some advice on how to thwart it or to disinfect the botnet’s computers.  And public authorities may need to get involved to conduct a criminal investigation, or to consider possible national security implications.
  • 14. Good Practice Guide on National Exercises14 In such a scenario, some means for quickly sharing information across these organizations and coordinating the response is desired. And exercises across these organizations are an important way to ensure that such communications and coordination procedures function correctly, and to ensure that all organizations are prepared to act as required. Benefits of Sectoral Exercises Such exercises can be held across a sector, or even across multiple sectors. By training together, the participating organizations can achieve many benefits:  They can identify interdependencies that they may not have been aware of.  They can practice working together with their counterparts at other organizations.  They can share best practices in their procedures.  They can test whether their own procedures work well in practice.  They can test emergency contact information and channels of communications across organizations.  They can develop trust across organizations to jointly work toward more resilient networks.  They can demonstrate preparedness to their customers, partners, and regulators. [Private Sector] “We take part in national exercises for several reasons: we believe it increases our crisis preparedness to be able to play with other stakeholders; crisis preparedness is vital for our social responsibility; and we believe it increases our customers’ trust in us when we take part in national exercises.” Benefits to Authorities Such exercises also yield other benefits for the public authorities responsible for resilience of public communications networks. These authorities usually do not have high visibility into how the individual players and their infrastructure will cope with an emergency. The authorities’ duties include:  Determining how resilient the networks will be,  Identifying weaknesses in network resilience,
  • 15. Appendix E – Definitions 15  Identifying weaknesses in incident response procedures,  Targeting action plans for improvements,  And measuring improvements. Exercises can be a powerful tool to help authorities with these duties:  The authorities can observe incident handling in practice.  They can increase awareness of interdependencies among the various organizations responsible for public communications networks.  They can stimulate cooperation and public-private partnership in the efforts to increase resilience of public communications networks.  They can target scenarios that they deem important, or specific procedures or functions where they have identified a need for improvement.  And by repeating exercises, they can track changes over time. 2.2 Exercise Life-Cycle Planning and executing an exercise effectively are challenging goals. To achieve success, it is necessary to carefully and diligently proceed through many individual steps, working out a huge amount of detail in the process, while balancing the sensitivities of various organizations and individuals whom you would like to commit their time, resources, and attention. These numerous steps together form the life-cycle of an exercise. An exercise’s life-cycle can be divided into four segments, as follows:
  • 16. Good Practice Guide on National Exercises16 Figure 1: Lifecycle of an Exercise with the Exercise Roles These lifecycle segments broadly involve the following elements: 1. Identifying the exercise: In this segment, the organizer must identify a need for an exercise. This need will include identification of procedures or measures that require practice or improvement and should be exercised. Based on this need, organizers can then select what type of exercise to conduct, and what organizations should participate. 2. Planning the exercise: In this segment, the organizer will drive the planning process. This process will involve recruiting the participants; acquiring financial resources for the exercise; selecting (and booking) the location, developing the scenario, rules, tools, and training materials for the exercise; selecting monitors and other role-players, and specifying what and how they will perform their duties; and planning the evaluation process.
  • 17. Appendix E – Definitions 17 3. Executing the exercise: In this segment, the exercise itself takes place. As specified in the planning process, participants go through (by discussing or actually acting out) the scenario and their response procedures and decisions. Monitors observe and note these actions, and inject information into the scenario. 4. Evaluating the exercise: Finally, after the exercise itself, the evaluation process takes place. This process tends to include a final evaluation report, or multiple reports tailored for different audiences. These reports review the exercise, identifying weaknesses, and recommending improvements. Furthermore, this process may include an ongoing process or forum by which to continue to address the weaknesses and recommendations identified. The following chapters examine each of these segments of the exercise life-cycle in detail, identifying practices that have been shown to be effective by those authorities conducting exercises to improve resilience of public communications networks in Europe and around the world. 2.3 Exercise Roles During the exercise life-cycle, there are various roles that must be performed. This Guide refers frequently to these roles. In many cases, an organization or individual holds multiple roles. The major roles discussed include:  Organizer: The organizer is the organization that drives the process of exercise organization. Typically, the organizer takes the lead role in setting the goals for the exercise, choosing the measures that need testing, establishing the planning team(s), leading the planning process, and providing resources to coordinate and execute the exercise. In some cases the organiser’s role is split among several stakeholders that share the competency and mandate to conduct exercises in a field. In this case, an organiser could include one authority that appoints another organisation to lead and moderate the exercise with the help and approval of a Steering Committee.  Planner: Planners are organizations or individuals that participate in planning of the exercise.  Participant (also Participating Organization, or Participating Stakeholder): A participant is an organization or individual that will play its role during the execution of the exercise. Individuals participating in the exercise itself will not be aware of the exercise scenario in advance. However, participating organizations may designate some individuals to participate in the exercise, and other individuals to take part in planning.  Exercise Director, Moderator or Leadership Team: There is a person or team that directs the exercise. The responsibilities include:
  • 18. Good Practice Guide on National Exercises18 o Setting up and dismantling the exercise environment; o Starting and ending the exercise; o Acting as the central point of contact for questions and problems which arise in the course of the exercise; o Making ad hoc changes to the plans or calling a premature halt to the exercise in the event of serious complications which cannot be resolved; o Facilitating tabletop exercises; o Managing the scenario; o Coordinating supplies for the exercise participants (e.g. catering); o And other related duties. In smaller exercises, such as desktop exercises, these responsibilities may lie entirely or mostly in one key person, possibly called the Moderator. In larger exercises, these roles may be more finely subdivided, possibly with an exercise director, scenario manager, and other support players, possibly acting jointly as the exercise leadership team. In this guide, we generally use the terms director or moderator to encompass this range of responsibilities.  Monitor or Facilitator: The roles of monitors and facilitators are related and overlap. In this guide, the term monitor is used to apply to both. Those in this role brief the participants on the initial situation before the exercise, and inject new information during the exercise. They then observe and record the actions and decisions of the participants during the exercise, checking performance of the tested measures, noting effectiveness and weaknesses, communicating with the moderator, and providing much of the material that will be required for evaluating the exercise.  Observer: Observers are individuals or organizations that are invited to observe the exercise, without participating nor monitoring performance. They may include stakeholders who are not otherwise participating, such as additional organizations outside the scope of the exercise (e.g. neighbouring regions or countries), public authorities that do not have an active part to play in the exercise, or others.  Evaluator: Evaluators are those individuals involved in the process of evaluating the exercise. These may include some or all of the same people and organizations who participated in planning and/or the exercise itself.
  • 19. Appendix E – Definitions 19 3 Identifying the Exercise At the beginning of the exercise life-cycle, the organizers will need to specify what are their needs and resources for exercising, and identify the most suitable kind of exercise to prepare. Departing from some general considerations, which we should introduce at the beginning of this section, the organizers will make important decisions on the outlook of the future exercise. The present section will review these decisions, focusing on several key points, as summarized in the following figure: Figure 2: Key Steps in The Lifecycle: Identifying The Exercise 3.1 Questions for Organizers Conducting an exercise brings many benefits in the efforts to increase resilience, but it is a challenging task. There are many different types of exercises, they can vary significantly in complexity and size, and they can test any number of different procedures and scenarios. To get started, organizers must consider several issues, such as:
  • 20. Good Practice Guide on National Exercises20  The measures and processes to be tested. Accordingly, the exercise might focus on testing command communications lines, drilling a specific function, or on developing a business continuity plan.  The target group for the exercise. For example, the exercise might focus on the performance of operational staff, operational managers, or senior managers.  The resources available for planning and conducting the exercise. That involves human resources, especially experts among the organizers' staff who can devote their time to preparing the exercise, and also the budget allocated to the exercise.  The degree of commitment that can be expected from participants.  The previous experience with exercise on the side of both the organizers and participants. First of all, the decisions about the targeted measures and groups are critical. Based on the answers to these questions, organizers can begin to specify an exercise type and general outline of the scale and scope. The other items should also be considered from the start, as they set parameters about what is possible and feasible. A successful exercise requires resources for planning and execution, as well as commitment from participants. It also requires significant skill during each phase of the exercise life- cycle. But exercises vary greatly in complexity, with some very simple ones requiring little planning, resources, or experience, while at the other end of the spectrum, full-scale exercises can include hundreds of organizations and thousands of people, requiring very large amounts of planning, resources and experience. Organizers should have some understanding of these factors, in order to plan an exercise that has a high chance of success. If these factors are judged insufficient for a given exercise, there are ways to address the shortcoming. For example:  Organizers can take time and effort to build commitment from participants,  They can increase their resources and exercise skills by hiring or partnering with external organizations to assist,  And they can increase their (and the participant’s) exercise skills through experience by starting with smaller exercises and building toward larger goals. All of these issues are discussed in detail in the rest of this chapter.  Consider what needs to be tested and the target group for the exercise first.
  • 21. Appendix E – Definitions 21  Keep in mind that the resources available for an exercise, the commitment of participants, and the skill required to plan them vary greatly, depending on the measures to be tested and the type of exercise. These factors will define the limits of what is feasible in your situation.  If necessary, work to expand these limiting factors by building consensus among desired participants about the need to exercise, by gaining experience with small exercises first, and by hiring or partnering with external organizations for assistance. 3.2 Measures and Processes to be Tested An important initial step in organizing an exercise is to identify a need. The exercise should test some specific measures that will be taken or processes that should be followed in the event of an incident. Organizers should seek to identify specific measures that require practice, training, review, or improvement. [NL] As one expert explained, the first thing is to identify the goal or purpose of exercising with the stakeholders/organizer(s); the rest follows quite logically then, including the scale, type, scenario, and location. [FI] “Have clear objectives for the exercise identified prior to developing the scenarios. Stay focused on these objectives. And measure the outcome and success of the exercise based on the original objectives.” In sectoral exercises or cross-sectoral exercises, these measures should include cooperation and coordination activities across organizations, in order to test and improve cooperation, and to reveal interdependencies. The measures selected may address different target groups, from lower levels of operations, up to senior management levels, depending on the specific needs identified. And the exercise may focus narrowly on one specific function or procedure, or may encompass comprehensive incident response procedures across organizations and sectors, as in a full-scale exercise. One of the most common examples of measures tested by several of the interviewed experts was communications lines between organizations. In the event of an incident, one of the first steps to take is to notify various agencies dealing with response (e.g. CERTs), authorities, suppliers and customers about the incident, so that they can take action as needed. Several experts mentioned testing these communications channels, confirming that contact details are up to date and that people can be reached right away. Many other functions and procedures can be tested in a similar way.
  • 22. Good Practice Guide on National Exercises22 Some examples of measures tested include:  The common situational awareness of the participants,  Elements of business continuity plans,  Adherence to those plans,  Speed of response,  Decision processes,  Information sharing (internally and externally),  Collaboration (internally and externally) to address the problem,  Coordination of resources, logistics and support capabilities,  Resilience of the environment (what survived and what didn't),  And many other topics. To put this into context, we can see some real-world examples from past exercises: [FR] Organizers noted testing response and recovery times, testing new procedures, identifying vulnerabilities, and discussing counter-measures. [DE] Exercises tested contact details (such as availability and reaction time), procedures (such as Standard Operation Procedures (SOPs), escalation levels), and situational awareness. [HU] Exercises tested counter-measures, preparedness, incident handling procedures, standard operating procedures, and preparedness. [FI] Exercises tested capacity for cooperation, modes of cooperation between various organizations, operability and usability of various communications and information systems in an emergency situation, ability to form situation picture, operational readiness, sufficiency of the powers of the authorities, and best practices. As organizers consider the measures to be tested, they may also want to consider some options, including alternative measures to test. They may want to prioritize these measures to decide which to test.  Identify a need in the form of one or more measures that require testing.
  • 23. Appendix E – Definitions 23  Consider some alternative measures of similarly high priority for testing.  Identify the stakeholders that are responsible for those measures and that would play key roles in exercising these measures.  It is useful to choose measures that address coordination and cooperation across organizations, in order to test and improve cooperation and to reveal interdependencies. 3.3 Choosing Ideas for a High-Level Scenario Once decisions are made about the measures to test, organizers can start to consider plausible high- level scenarios that might be developed to enable testing of these measures. A realistic scenario is critical to the success of the exercise. The scenario will be developed in detail during the planning process that incorporates key stakeholders. This process is discussed in detail below. However, before involving other stakeholder organizations in the planning, organizers should consider high-level scenarios that address the organizer’s goals and suit its preferences. Choosing a suitable high-level scenario at this time is useful for two important reasons:  It can help in recruiting participants to the planning process, giving stakeholders a concrete idea of the purpose of the exercise.  It sets a clear path forward for the planners, before those planners are recruited. By contrast, if the choice of high-level scenario is left until the planning discussions are underway and stakeholders have gotten involved, organizers may have a more difficult time steering planning in the direction that they want it to go. Although organizers should choose a high-level scenario at this early stage as an option, they should also consider that the planning process may reveal problems with this choice, or reveal that another scenario might be more suitable. Many organizers will therefore want to consider and select some alternative high-level scenarios at this stage for consideration early in the planning phase.  Start to focus on a high-level scenario that enables the exercising of the measures you have identified for testing.  Consider some alternative high-level scenarios, as well.
  • 24. Good Practice Guide on National Exercises24 3.4 Types of Exercises There are many different kinds of exercises that you may choose to conduct, each with different formats, benefits, challenges, and costs. There is no international standard taxonomy of types of exercises, though there are many commonly used terms and categories. Most practitioners of exercises distinguish between discussion-based exercises, and operations-based exercises. Discussion-Based Exercises Discussion-based exercises enable planners and participants to examine scenarios, develop response procedures, test those procedures, and test decision-making. Participants only discuss these topics, rather than acting them out. Such exercises may include seminars, workshops, tabletop exercises, or games.  A seminar provides instruction and discussion of plans and procedures, for example to instruct staff on new or changed procedures.  In a workshop, experts and managers will gather to hold a constructive discussion in which they work through a theoretical scenario, considering implications, procedures, interdependencies, and decisions. Such exercises are particularly useful for jointly developing new procedures to cope with possible incidents.  In a tabletop exercise, participants will gather to work through a scenario and existing procedures for responding to it. Typically a facilitator will guide them through, with participants stating the steps they would take and the decisions they would make, as the scenario unfolds. Such exercises are particularly useful for ensuring preparedness and familiarity with the procedures.  A game is similar to a tabletop exercise, except that participants are divided into two or more teams that work through the scenario separately in a competitive atmosphere. Example:  The telecoms authorities in Ireland organize regular exercises, with one recent example being a tabletop exercise in which several telecoms network operators simulated a physical incident – in this case a chemical spill – at a switch. The exercise focused on performance and mutual communication of teams.
  • 25. Appendix E – Definitions 25 Operations-Based Exercises Operations-based exercises enable the testing of procedures and ensure preparedness of staff to follow them. These exercises involve acting out the procedures in practice. They may be narrowly focused on a specific operation or function, such as a drill to test a communications link. Or they may be larger in scale, exercising the coordination of different departments or organizations. Or they can be much larger in scale, involving many organizations, many departments, and large numbers of people acting out their roles through a scenario. Of course, the larger exercises require far more planning and commitment. Examples:  “Waterproef” was a major national exercise in the Netherlands that involved multiple ministries (Interior, Economic Affairs, Water Management & Transport, and other), crisis response centres, water boards, emergency structure, police and rescue forces, military support, and others. The scenario also integrated local scenarios into the core national scenario. Over 10,000 people participated during one week. The scenario included large scale flooding of several parts of the country. Planning lasted two years, and preparation involved the work of hundreds of people.  Norway has several authorities conducting exercises, including annual national exercises, such as one in December 2008, called ICT 08, that focused on IT and telecoms networks. This exercise was a countrywide exercise that covered several sectors, including network operators, service providers, power providers, finance, and various kinds of customers vital to communities. The Norwegian Post and Telecommunication Authority (NPT) conducts its exercises every second year.  Cyber Storm is a series of full-scale exercises organized by the United States Department of Homeland Security. Cyber Storm I and II took place in 2006 and 2008. The first was a national exercise, while the second was international in scope. Participants included public (international, country and state level) and private (companies or sector associations) organizations across multiple sectors. The exercises tested response to and recovery from cyber-attack on national critical infrastructure. A sequel, Cyber Storm III, is planned for 2010. Each of these exercise types yields different benefits, enables the testing of different measures, and involves differing degrees of costs and challenges. A robust exercise strategy
  • 26. Good Practice Guide on National Exercises26 will likely include multiple types, in order to test all of the measures that the organizers have identified a need to test.  Choose the exercise type to fit the need you have identified and the measures that should be tested.  Consider a strategy that incorporates different kinds of exercises to test various measures. 3.5 Participants Involved Choosing the participants clearly follows from the decisions about the measures to test and the type of exercise. Once the objectives have been decided and sectors considered, the individual participating organizations can be considered. There are different roles that people and organizations may play in an exercise. These roles are discussed in the section above, Overview of Exercises: Exercise Roles. These roles broadly consist of the organizer, planners, participants, exercise director/moderator, monitors, and evaluators. A stakeholder can have several roles in the exercise lifecycle, and typically, the major stakeholders contribute individuals to several or most of these roles. For example, a major stakeholder may contribute to the planning process, have other individuals participate in the exercise itself, have others (possibly, but not exclusively, the individuals involved in planning) serve as monitors, and then have some individuals additionally participate in the evaluation. Conversely, stakeholders could serve only a single role. At this point in the exercise’s life-cycle, the most important roles to consider are the key exercise participants. The desired participants should be key stakeholders in the measures to be tested. The choice of these key participants will enable organizers to begin recruiting them to participate in planning and the exercise itself. In a sectoral exercise, planners may want to involve all key players in that sector. In other cases, such as cross-sectoral exercises, or geographically localized exercises, it may be sufficient to ensure participation by a representative of each sector, or representatives in the exercise’s region of focus. Not all organizations will want to take part. Organizers may need to take this willingness (or lack thereof) into account in choosing key participants. On the other hand, there are ways to increase willingness to participate, which are discussed in the next chapter, under “Recruiting Participants”.
  • 27. Appendix E – Definitions 27 The decisions about key participants should be made early in the planning process, to involve their input into creating a realistic scenario and to ensure their enthusiastic participation. Examples:  [NO] “Stakeholders and participants are identified as the theme, framework and scope of the exercise is agreed on.”  [UK] “The process of planning the exercise and agreeing objectives helps to identify stakeholders and participants.”  Choose the participating organizations based on the measures to be tested, and which organizations are relevant to those measures either directly or indirectly.  Consider also their willingness to participate and the geographic focus of the exercise.  Select the most important participants early in the planning process, so that you can include them in the planning itself to ensure their commitment and a realistic scenario. 3.6 Size of Exercise The issue of the size of exercises was a frequent topic of discussion during research for this guide. Experts emphasized that organizing a large exercise, such as a full-scale operational exercise, requires very large amounts of resources, as well as substantial skill, experience, and commitment of participants. For example: [NL] The Waterproef exercise mentioned above required two years of planning and involved hundreds of people. Size of the exercise is largely affected by the type of exercise chosen, the measures to be tested, the target groups, participating organizations, and details of the scenario. Based on the research, we have summarized some key advantages and disadvantages of small and large exercises in the table below. Large Exercises Small Exercises Advantages  Generate awareness of the issue and need for preparedness at all levels  Generate publicity for participants which can help in recruiting them  Quick to plan and execute.  Short planning cycle allows for frequent repetition—where useful—or a quick move onto the next topic.  Easy, manageable effort for organizers
  • 28. Good Practice Guide on National Exercises28  Give training to large numbers of participants at all levels  Reveal interdependencies across the system  Simulate the stress and tension of real-life incidents, revealing how these affect participants' reactions. and participants.  Limited number of participants is easy to recruit  Simple to plan and execute (even for beginners)  Focused on specific measures to test and train Disadvantages  More costly, in terms of time and budgets  More difficult to plan and execute  Lessons may get lost or diluted in the complexity of the scenario  Large exercises can take a very long time and be difficult to plan effectively  Attract less publicity and generate less widespread awareness of the issues.  Do not generate the experience of putting all the pieces of emergency management together  May not generate the tension and stress of real-life incidents (particularly in the case of many discussion-based exercises) Clearly both large and small exercises have merits and a place in the exercise repertoire. Nonetheless, organizers should consider the size of exercises very early in the planning process.  Be aware of the advantages and disadvantages of the size of exercises, and ensure your choice corresponds both to your objectives and to any limitations you are under (resources, budget, skills, commitment of participants, time, etc.). 3.7 Geographic Scope The geographic scope of an exercise is also an important factor. It can affect the size of an exercise, with a wider geographic scale for an operations-based exercise involving larger numbers of organizations and individuals. However, even if the geographic scope of an exercise is wide, an exercise can be kept simple and include few participants. In any case, size and distance can make planning exercises with wide geographic scope more challenging and costly. But despite the potentially greater challenges, exercises with a wide geographic coverage can spread the benefits of participation to a larger number of organizations and individuals.
  • 29. Appendix E – Definitions 29 Aside from the logistics of planning and the benefits of participation, it is perhaps even more important to consider the nature of the incidents that can occur and for which exercises can help prepare. In fact, while many incidents will be local (a local disaster, terrorist attack, or network fault), many other incidents (or at least their implications) are themselves spread across a wide geographic scale, for multiple reasons. For example:  A local incident can cascade to other regions, as when a local fire knocks out a critical network node and disrupts wider national and international communications.  Some potential incidents may take place in multiple locations at once, such as a coordinated terrorist attack.  Many incidents are themselves geographically dispersed by nature, such as the distributed denial of service (DDoS) attacks launched by international botnets on Estonia in 2007.  And some incidents may require a widely coordinated response in order to solve the crisis, such as when international knowledge-sharing and cooperation are required to cope with a large-scale natural disaster. This wide geographic coordination can involve incident responders who come from different national and institutional cultures (as well as speaking different languages), adding further challenges. Since incidents and their responses are sometimes local, regional, national, and international in scope, there is a clear justification for exercising together and preparing for such incidents at all of these scales.  Consider exercises with a mix of geographic scales, in order to exercise the procedures to respond to incidents at each of those scales.  Where the everyday cooperation is less established, as often in international scenarios, start small.
  • 30. Good Practice Guide on National Exercises30 4 Planning the Exercise Now that you have made decisions about the needs that the exercise will address, the type of exercise, the desired participants, and the measures to test, you can begin planning the exercise. Exercises typically require extensive work in the planning phase. Some exercises are simpler than others, as discussed above, but most of them will require an extended planning process to be executed carefully. The planning phase is important for many reasons. The success of an exercise depends upon the realism of the scenario, the commitment of the participants, and the precision with which desired objectives are aligned with the measures tested, the scenario, and the execution. All of these are essentially decided during the planning phase. Furthermore, the planning phase is a long process that involves extensive examination – and sharing of views – on threats, risks, scenarios, interdependencies, procedures, resources, and other elements of incident preparedness and response. As such, the planning phase is actually where much of the benefit of exercising is gained by stakeholders. This section examines the planning phase in detail, focusing especially on these key issues: Figure 3: Key Steps in the Lifecycle: Planning the Exercise
  • 31. Appendix E – Definitions 31 4.1 Leading the Exercise Planning Before starting the planning process in earnest, you must first decide who will lead the process. In most cases, the organization that decides on the need for an exercise also leads the planning process. Frequently, the organizer is the public authority responsible for resilience of public communications networks. If an authority that decides on the need designates others to lead the planning, they will need to ensure that the leader fully embraces the needs and objectives that they have specified, and probably also manage them closely through the planning process. Organizers in several Member States (and beyond) reported hiring third-party facilitators (consultants) to take on much of the workload in organizing exercises. These experts highlighted the use of consultants for a couple of reasons: 1. They bring expertise (and tools) for development of exercises, which some authorities do not yet have. 2. And they provide many of the resources (including staff) for planning the exercise. Using such consultants clearly creates a new budget item for the planning authority, but by dedicating these resources to the process, one avoids the problem of adding exercise planning tasks to already- busy internal staff who may not have sufficient time to devote to the tasks. Hiring such consultants is not unusual, though one expert in Germany emphasized that even with third-party contractors, they need to allocate their own full-time employees to the exercises to work with the consultants and ensure results fit their needs and objectives.  If you have identified the need, you will either need to lead the planning process, or ensure that the leader you select fully embraces the same needs and objectives. Even then, you should expect to have to manage them closely.  Ensure that you have enough resources allocated to planning the exercise.  You may want to bring in external consultants to aid in planning the exercise, as they can bring useful experience, tools, and resources.  Even if you use external resources, make sure that you have enough resources internally to work with them, educate them about your objectives, and to ensure their planning stays on track.
  • 32. Good Practice Guide on National Exercises32 4.2 Duration Many of the experts interviewed for this guide emphasized that the planning process tends to be very lengthy and challenging.  [DE] “Exercises need time and resources to prepare – double the effort you think you might need!”  [UK] “The more time invested in the planning and preparation stage, the more successful the exercise will be.” Experts varied in their estimates of the amount of time needed to plan an exercise. Schedules will vary, based on:  Size and complexity of the exercise;  Preference;  Degree of commitment by participants that exists;  Amount of resources dedicated to it. The estimate of planning cycles for major exercises usually varied from 8 months to 18 months, though a few estimated slightly less than that, and a few others estimated even more. Some countries and authorities plan major exercises every second year. Examples: [US] “Planning is done in stages and can last anywhere from 6 months to 18 months.” [UK] “The planning process will take approximately 1 year and is driven by monthly meetings of the planning group.” These extended cycles allow for setting the date of the exercise very far in advance, ensuring commitment, building consensus on the concept and objectives, and gradually hammering out the details.  For full-scale operational exercises, allow extended planning cycles of at least a year, until experience is gained that suggests a shorter duration. Smaller exercises, such as tabletops should also start with planning cycles of several months, though this schedule can be adjusted based on the details of the chosen exercise.
  • 33. Appendix E – Definitions 33  For the first exercise, allow extra time. That enables you to ensure commitment from key participants, build consensus on the concept and objectives, and carefully work out all the necessary details. 4.3 Participants in the Planning Beyond the leadership of the planning process, the question of who else participates in planning is a crucial one. Decisions about participants in planning should be based on the need to make the scenario realistic, and also to gradually build interest in and generate commitment to participating in the exercise. Those organisations or individuals participating in the planning of the exercise are performing the role of the “planner” during the exercise lifecycle. Stakeholder Organizations One key category of participants in planning is that of the key stakeholders in the exercise itself. Experts consistently recommend including representatives of these key organizations in planning. Once decisions are made about the general concept and objectives, these organizations can be recruited to participate in workshops on the resilience of public communication networks and challenges, and then gradually recruited into planning and commitment to the exercise itself. It is also important that these participating organizations also contribute to the preparation of the scenario. The specific individuals will not participate in the exercise itself, as the scenario should be kept secret from exercise participants until the event itself. However, in order to ensure that the scenario is realistic, these individuals who have insight into the technical details of how incidents will affect that company, and how the company will react, should contribute to the detailed scenario planning. Other Subject-Matter Experts and Consultants In addition to including the key participating organizations in planning, organizers also should consider whether there are other subject-matter experts who might play a valuable role in planning. Such subject-matter experts can bring additional experience and different perspectives to the exercise planning. These experts may stem from various different positions:  Academia and other research institutions;  Consultancies;  The media;
  • 34. Good Practice Guide on National Exercises34  Think tanks;  Technology vendors and solution providers;  Non-profit organizations;  User’s organisations;  Freelance consultants;  And other positions. These organizations and individuals can add insight into how an incident may originate and evolve, what responses from stakeholders may include, how responses of stakeholders (counter-measures) may affect the incident, what interdependencies there are and how they will be affected by a type of incident, and how similar incidents have unfolded and been addressed elsewhere. Organizers should consider whether there are subject-matter experts who could play a valuable role in the exercise they are planning, such as aiding in the planning of a realistic scenario, moderating, monitoring or evaluating the exercise. Depending on the role these experts might play, the time required, and their willingness to commit, organizers may wish to consider simply inviting them to contribute, or contracting them to fulfil the desired roles.  Include in the planning process representatives of the key organizations that should participate in the exercise. That ensures that the scenario will be as realistic as possible.  Empower these stakeholder organizations to take action by giving them a role in planning.  Consider whether other subject-matter experts or consultants are required, or could help significantly with the exercise planning or other roles, and invite them or contract them to fulfil these roles. 4.4 Coping with Confidentiality and Intelligence Issues In selection participants, one topic that may come up is how to cope with confidentiality issues. Companies will frequently be concerned with sensitive corporate information. At the same time, government organizations are likely to have similar concerns about divulging certain aspects of their operations and procedures. In the latter case, some government organizations may want to participate, but will have trouble doing so if for example participation, monitoring, and even planning
  • 35. Appendix E – Definitions 35 these elements of the scenario require security clearances. Organizers will have to cope with these concerns. One part of the solution is to reassure participants about confidential issues generally, by emphasizing what information will be collected, by whom, and how it will be used. That includes being clear about how the evaluation process will be conducted. These issues will be discussed in more detail below. Another part of the solution can be to encourage organizations to develop their own internal scenarios that link to the external scenario and extend from it. Such a choice may not include responses from these groups back to the scenario manager or moderator, and they may not be planned openly with the planning team, but they can still be a useful endeavour for participants. Finally, in some cases, multiple organizations may like to participate in the scenario, requiring the sharing of confidential data in planning and the exercise itself. In such cases, organizers may like to enable multiple planning teams operating separately, allowing one group with appropriate clearances to handle confidential data, without exposing that data to those without clearance.  Plan to enable participants to keep control of their confidential data, and reassure them of this fact throughout.  Consider establishing separate planning groups, so that one can handle confidential data and scenario elements, without divulging that information to those without appropriate clearances. 4.5 Recruiting and Considering Incentives for the Exercise Participants Now that you have decided who will lead, who should participate, and how much time to allow, you can begin the planning process in earnest. A key element to planning is recruiting participants and ensuring their commitment. This is a complicated task that can be briefly summarized in the following diagram: Figure 4: Recruiting Participants
  • 36. Good Practice Guide on National Exercises36 Reluctant Participants As noted in the previous section, desired participants may not always be interested in participating. [DE] One organizer explained that recruitment of participants “was quite a challenge”. Recruitment took over half a year, and only a few agreed in the end. The main problem identified was that they did not want to share security information with an organization with which they did not previously have a relationship. There are a few common reasons:  Organizations may be reluctant to allocate the resources required.  They may not recognize benefits of participation.  They may be concerned about confidentiality of their internal procedures or weaknesses that might be revealed during the exercise.  And some experts pointed out the large number of exercises that can take place, and that participants may need to prioritize. This reluctance may result in their refusal to participate, or in poor results, if they participate only half- heartedly. As a result of this reluctance, organizers may need to work to recruit participants.
  • 37. Appendix E – Definitions 37 Raising Awareness About Benefits of Exercises The first step in recruiting participants, especially reluctant ones, is to raise awareness about the benefits of exercises. The overwhelming feedback from private-sector companies contacted for this Guide was that exercises are very useful for participants. Once a company has participated in effective exercises, they tend to be interested to participate in others, due to the significant benefits they have experienced. Some of the key benefits to be gained by participants of exercises were discussed above. Highlighting again just a few:  They can ensure that staff are fully prepared to respond to incidents by efficiently following business continuity plans;  They can identify weaknesses in those procedures that need attention;  They can identify interdependencies with other organizations that may need to be addressed in continuity plans;  They can exercise cooperative procedures across organizations to cope with interdependencies;  And they can strengthen their working relationship and trust with authorities, customers, and partners In the Overview of Exercises section an extensive list of the benefits of participating in exercises is provided. The key for organizers is to reluctant participants aware about these and other benefits, and the planning process is a key part of that. Recruiting Via the Planning Process The planning process is itself a useful tool in recruiting participants. Planning processes can start with general seminars and workshops on the themes of resilience, vulnerabilities, and interdependencies. Asking the leading stakeholders in different sectors to present their own views and concerns in these areas is an effective way of engaging them in the process. And by involving the stakeholders in a series of discussions, you can bring them into the community of like- minded stakeholders interested to work together toward resilience. Once there is broad consensus about the general issues, later steps can move toward identifying the specific need for an exercise, helping to plan it, and committing to participate in it.
  • 38. Good Practice Guide on National Exercises38 This gradual process can convince stakeholders of the need for an exercise, that resource requirements and costs are reasonable, and that they can trust the organizers and other stakeholders. Incentives The most obvious solution for recruiting participants is probably to provide positive or negative incentives. Positive incentives could include financial incentives, such as covering some of the costs of participation. For example, the organizers could ensure that some travel expenses, catering, or other incidental expenses can be covered by the exercise budget. However, the organizers of exercises consistently explained that they are not able to provide financial incentives to cover such costs as the labour time involved. Similarly, making participation mandatory is not within the authority of most organizers. As a result, recruitment tends to rely on allaying fears (confidentiality issues), and emphasizing the benefits. These benefits are many, and they are detailed above, while the means for allaying fears follows. [US] Private sector engagement is not given financial incentives, but the private sector often wants to participate to improve security and resilience of the ecosystem at large. Generating Trust "Trust" is an extremely important term mentioned over and over again by organizers of exercises. The planning process is a way to jump-start trust, by bringing stakeholders together to share views on resilience and interdependencies, and then working together on a scenario and procedures. Through participation, they can control what is shared voluntarily, recognize the value of the cooperation, and become more comfortable with cooperation with the other stakeholders. Aside from the exercise planning, many experts emphasized that their key to success has been a gradual development of trust over years. For example: [HU] One organizer mentioned that first exercises should be simple communication checks that enhance trust and cooperation. Then there is progress towards more complex scenarios, and possibly more demanding formats. Prior trust has enabled organizers to recruit participants and launch exercises. There are several elements to trust-building that have been mentioned by authorities in Member States. Most authorities have used a combination of some or all of these tools for building trust over time:  Stating clearly what information will be shared and how it will be used;
  • 39. Appendix E – Definitions 39  Conducting exercises, of course;  Ensuring that there is no public criticism of the company from prior exercises or cooperative efforts;  Maintaining an effective incident reporting process that again is careful not to divulge sensitive data, but that adds value to the resilience effort;  Preparing analysis of incidents and threats;  Organizing seminars and trainings on resilience issues;  And by organizing or participating constructively in forums, working groups or other bodies that help address resilience issues. Overall, these efforts to build trust and develop a collaborative environment between authorities and other stakeholders were mentioned many times by the experts (both public and private) as being crucial to the successful cooperation and improved resilience over the years. Exercises rely on this trust, but they also offer a significant way to build it. [FI] During the planning phase and the introduction period of the exercise the trust is built with the “new-comers”, those with experience have the trust in place from previous exercises. [UK] “Trust between stakeholders was built by being as open as possible about the exercise planning process, including sharing aims and objectives at the start of the planning process, while rigorously protecting confidential and commercially sensitive information.” [UK] “Trust and a productive working partnership have been built up over several years by the participants working together on resilience issues.” [DE] One organizer explained that you should not expect private partners to do a full-scale exercise with you immediately. Instead, start from smaller scale. Additionally, avoid any negative publicity for the participants in the press in the exercises, or their willingness to participate in the future will disappear.  Adopt a gradual planning process that starts with seminars or workshops about resilience, vulnerabilities, and interdependencies. Use this process to build trust among stakeholders, and to educate them about the wider sectoral issues, benefits of cooperation, and benefits of exercises. Then include these stakeholders further through the planning process.  Focus on the trust issue. Trust is built gradually through years of cooperation.
  • 40. Good Practice Guide on National Exercises40  Where trust is already well established, organizers can use that trust to move more quickly in recruiting participants and planning the exercise.  But where cooperation has been less common, and trust is not as fully developed, organizers should take their time to slowly work through recruitment of participants and the planning process.  Leverage a range of tools for building trust, including various other forms of interaction and cooperation with the stakeholders. 4.6 Developing the Scenario Most of the above steps in planning an exercise are quite broad in nature. But when development of the scenario begins, the focus of organizers will turn to a great deal of detail. Experienced organizers recommend several guidelines for those developing scenarios. First of all, the scenario should be as realistic as possible. The incidents should be chosen to seem plausible. That starts from the initial decision about the broad outline of the scenario, and extends through the detailed planning. [NL] One organizer explained that it is necessary to avoid the situation when participants begin protesting "…this is crazy, this couldn't happen," because that kills the exercise. To ensure scenarios are as realistic as possible, it is necessary to have a good understanding of how the participating organizations function, and how they will respond to incidents. For that reason, it is preferable to include representatives of the participating organizations in developing the scenario. However, depending on the scenario, the goals, and the type of exercise some non-realistic elements in the scenario may be required. These must clearly be communicated to the participants to avoid discussion about the realism of the scenario (“don’t fight the scenario”). Scenarios need to enable exercise moderators to respond flexibly during the exercise. The actions taken by participants will influence the evolution of the scenario for other participants. And since participants will sometimes act differently than expected, the scenario needs to allow for multiple responses and actions of the participants. Since planning for all possible directions that the scenario might take increases costs and can get away from testing of the desired measures, experts recommend preparing to include guiding injects that get the scenario back on the desired course. The scenario’s flexibility should also enable moderators to control the amount of pressure on participants. They should be placed under pressure, but the pressure should not be so great that the
  • 41. Appendix E – Definitions 41 participants completely fail. Moderators will need to balance the pressure throughout the exercise. There should be prepared injects that they can use to do so. To prepare the scenario, a planning committee will start with a broad concept that suits expectations of key stakeholders. They will then elaborate upon the details, while incorporating input from key participants about the implications of the scenario on their operations, and the procedures they would expect to follow. This process can be expected to require an extended period of time, regular meetings, and substantial work. [SE] One organizer explained that as the organizer of the exercise, they first develop a broad scenario idea at a very high level that everyone could be involved in, then start thinking about the details. Participating organizations are represented in the planning team to help work out those details. [NO] Similarly, in Norway, an organizer reported interviewing the main stakeholders about their objectives, and using that to decide the central scenario. In this case, the decision-making was by consensus.  Scenarios should be as realistic as possible  Scenarios must prepare moderators for varied actions by participants that might steer the scenario in different directions. That might include many different possibilities within the scenario, and it may also include flexibility for the moderator to improvise.  Scenarios need to include detailed injects of new information, both those that planners intend to introduce from the beginning, and others that may be called upon optionally by the moderator, depending on how the exercise proceeds.  Planners need to align the broad scenario concept with the objectives of key stakeholders.  Planners need to then coordinate the details with them through an extended process. 4.7 Monitors and Monitoring Monitors have a very critical role in ensuring the effectiveness of an exercise. They perform several crucial tasks:  Observe and evaluate the participants’ actions, decisions, and effectiveness  Report this information to moderators
  • 42. Good Practice Guide on National Exercises42  Relay injects and other necessary information to participants  Answer participant questions  And provide essential input for the post-exercise evaluation. During the planning process, monitors for the exercise will need to be selected. Additionally, the monitoring process and measurements will need to be designed, so that the monitors have clear guidance on what to measure during the exercise itself, and tools for doing so, if needed. Choice of Monitors The choice of monitors varies, though they should usually have been involved in the planning process, so that they fully understand the scenario and the responsibilities and procedures of the participants they will be observing. Ideally, the monitors should have experience monitoring exercises. Where the organizer has already planned several exercises, they may have such people on staff. Alternatively, they may like to bring in other organizations or consultancies with experience monitoring exercises. Or combine the two options. Experienced monitors will be more effective in evaluating the actions of those they are monitoring and providing the additional scenario injects. There is a question about whether monitors should be employees of the organizations they monitor, or independent of them. In most exercises, planners choose to use independent monitors. Such monitors can come from the organizing authority, from other institutions, or consultancies specialized in exercises. Such monitors bring objectivity and independence. However, independent monitors may make participants more tense about conducting their duties under this external observer. Less commonly, the monitors in some exercises are representatives of the participating organizations, in a form of self-monitoring. Self-monitoring ensures that someone who is very familiar with the internal procedures of a company observes these procedures in action. However, self-monitoring is also likely to result in far fewer critical details being reported to the evaluation team.  One exercise organizer explained that individual stakeholder organizations monitor themselves, prepare their own analysis of the internal results, identify internal lessons learned, and decide how and whether to act on the lessons learned. In this way, each exercise is an opportunity for each stakeholder to practice and learn from others, but it is up to them each to decide what was learned and what to do with that knowledge.
  • 43. Appendix E – Definitions 43  External monitors are recommended for exercises in which organizers expect to obtain a full report about effectiveness of the exercise and to be able to make and follow up on recommendations for improvements.  Self-monitoring may be best for cases where organizers are less concerned with learning the lessons themselves, than with providing an opportunity for each organization to learn its own lessons and decide what to do with them.  Experienced monitors are of course preferred; where inexperienced monitors are used, they will need training in advance on their roles. Training of Monitors Monitors will also need training on their roles in advance of the exercise. Their roles can be quite challenging, as they must understand what to observe, how to record their observations, what and how to communicate to the moderator, what and how to communicate to participants, and what their responsibilities are for assisting the evaluation process. In order to ensure the monitors carry out these duties as effectively as possible, they should receive training, including training materials (discussed below), and also briefings, seminars and/or rehearsals. [SE] One organizer noted that the monitors receive two to three training sessions.  Ensure that monitors have sufficient training so that they are ready and comfortable in carrying out their duties.  The monitors will need some specific materials for conducting their jobs, as well as training in using them, possibly including some form of rehearsal or acting out of their roles. Monitors’ roles during an exercise are discussed further in the chapter on Conducting an Exercise. 4.8 Observers Planners will need to consider whether observers should be invited to the exercise. Observers can include organizations relevant to the scope of the exercise, or to the wider effort to ensure network resilience, but that are not actively participating in the exercise in other roles; also, they are excluded from decision-making procedures. For example, they might be public authorities involved in planning the national emergency management strategy who should understand the challenges faced by the ICT sector. Or high-level officials interested in the overall emergency management capabilities. Or critical information infrastructure managers in other regions not part of the exercise.
  • 44. Good Practice Guide on National Exercises44 There can be various other reasons planners may wish to invite other observers. Planners simply need to consider whom they want or need to invite during planning, so that they can ensure the observers have a chance to attend.  Consider during planning whether there are additional organizations or individuals who should be invited to observe the exercise. 4.9 Deciding on a Media Policy During planning, the organizers will need to decide on a media policy. That policy may be simply to notify the media in advance of the exercise, or even not to engage with the media. In discussion-based exercises, little or no media involvement may be feasible and preferred, depending on the exercise. However, media policy can be quite important for a few reasons:  Participants will be wary of allowing the media to see any vulnerabilities or weaknesses that might emerge during the exercise, or in any evaluation reports.  On the other hand, participants may want the publicity of participating in major preparedness exercises, potentially being a factor in their decision whether to participate.  It may be necessary to inform the media about the exercise at least at a high level, so that they will not misinterpret activities of participants as a real emergency.  The media may be an important participant in the exercise, since the media often plays an important role during emergencies, such as keeping the public informed about emergency procedures, evacuations, etc.  And communications with the media are an important part of crisis management that itself includes procedures that should be practiced and may be tested in exercises. Generally, most experts view little role for media in these exercises, due to confidentiality concerns of participants. In order to convince stakeholders to participate and potentially reveal weaknesses to external parties, they typically need reassurance that information about any such weaknesses would be held confidential. As a result, key stakeholders will almost universally want to avoid allowing media full access to exercise planning, the exercise itself, or the after-action reports. On the other hand, many stakeholders will value the perception gained by being a participant in an important critical information infrastructure exercise. By participating, they can demonstrate their importance to government and economy, their openness to supporting public services, their act of preparing for any and all possible incidents. As a result, there can be some benefit to having a public
  • 45. Appendix E – Definitions 45 relations policy for exercises that ensures sanitized information about the exercise and participants is released to the media. Media policies may also be important to ensure that the exercise is not misinterpreted by the media as a real incident. Organizers in at least one Member State cited this as a real risk, having observed it in one of their earlier exercises. The media may also be a relevant participant in an exercise, in their role of communicating information to the public and breaking news to participants. It is also worth noting that many exercises simulate media activities to provide the injects during the exercise. News media may be the channel by which news is distributed to stakeholders in the event of a real incident, so planners sometimes simulate news reports to participants. These will be prepared as part of scenario development, but planners should be aware of this complex relationship that most exercises have with media coverage. Finally, since media communications are an important part of crisis management, exercises may incorporate this role into an exercise, testing the procedures and key actors in their responsibilities.  Consider the media policy before the exercise takes place. Make a decision about the policy and then prepare any materials needed.  Most likely, for smaller exercises, such as most discussion-based exercises, organizers and stakeholders will not need or want to inform the media.  For larger exercises, you may need to notify the media, to avoid mistaken alarm.  You may also want to promote the exercise and participants in a positive way to media through press releases, websites, press conferences, etc.  And upon completion of the evaluation, you may want to send a sanitized final report to the media, promoting the benefits of the exercise, without pointing fingers at any specific participants nor revealing any key vulnerabilities. 4.10 Other Materials Finally, the planning process will also require the development of some other materials that will be used to conduct the exercise. These materials will likely include:  Training materials for monitors. In order to carry out their jobs effectively, the monitors will need training on how to do so. Many or all of the monitors may have participated in the planning process, so the exercise will not be new to them. However, they will need guidance
  • 46. Good Practice Guide on National Exercises46 on what exactly to observe, how to measure it, what to record, how to record it, how to communicate with participants and the moderator, how to inject information, and how to respond to participant questions. Monitors will need training materials, as well as practice in advance.  Training or briefing materials for participants. These should include an explanation of the exercise, an explanation of the reason for the exercise and the efforts to increase resilience; clear instructions to enable participants to carry out their duties during the exercise; rules of the exercise; and anything else they may need to complete the exercise. This training or briefing may be simply a written document, an oral briefing, or a combination. And it may take place just before the exercise, or possibly a week or two in advance, if there is significant new material for them to understand in advance. This subject is discussed in more detail in the next section.  Tools for the exercise. The exercise may require various tools. Some exercises use a software tool to manage the scenario during the exercise. Monitors will need questionnaires or other tools to record their observations. Monitors will need a means to communicate with the moderator during the exercise. Participants may need tools to simulate their activities and decisions. And other tools may also be required. The specific requirements for these materials will be determined by the planning team as they develop the scenario.  Make sure to carefully identify well in advance what materials are needed. You may need the time to develop some of the tools, especially where potentially complex software tools may be needed.  Provide monitors with all their materials well in advance, and then provide training and rehearsals to ensure everyone is ready.
  • 47. Appendix E – Definitions 47 5 Conducting the Exercise Once advance planning is completed, the exercise itself will be conducted. To kick it off, some form of training of the participants will be required. Additionally, monitors will be in place to observe the actions of the participants and to inject new information as the scenario unfolds. Finally, the media may or may not be engaged during the exercise itself. Each of these issues is reviewed below. Figure 5: Key Steps in the Lifecycle: Conducting the Exercise 5.1 Training of Participants The planning process will map out the scenario to be played in detail, but it must be kept secret from exercise participants until the event itself. Still, the participants will need some understanding of what will happen, what their roles are, how they should act, etc. As a result, the planning team will need to prepare some training materials for participants.
  • 48. Good Practice Guide on National Exercises48 These briefings may be oral, written, or both. In some cases, this information is extremely limited with participants simply receiving a date and brief explanation of the objectives, and then simply receiving the scenario injects at the start. In most cases, however, there tends to be a bit more information shared. This information may include the following:  In tabletop exercises or games, participants need a briefing about the rules and regulations for participation, as well as a briefing about the background of the scenario.  Some exercises include a seminar or online training in advance about the tools used during the exercise.  They may also include briefing materials or training about resilience of public communications networks and objectives and other context for the exercise.  Generally, it is advisable to make the participants feel comfortable with the broad reasons for conducting the exercise and anything they need to know about how it will be conducted. But as already mentioned, the scenario itself is kept secret until the start of the exercise. [US] “There is training provided for participants on the logistical and ‘gaming’ processes. Training is provided via conference call and distributed documents to participants. Scenario briefing material is provided to participants as scenarios unfold.” Be sure to train participants in any background information, tools, rules and other details required for them to conduct the exercise and realistically simulate their procedures and actions. 5.2 Monitoring The monitoring procedure and the selection of monitors will have been specified in the planning phase. They are discussed here as their role comes into effect during the exercise itself. Role of Monitors There will need to be some central management of the exercise (e.g. a moderator, an Exercise Director, or an exercise management team) controlling all activities and coordinating the individual monitors. We will refer to this individual or team as the moderator. The moderator must:  Manage the overall scenario;
  • 49. Appendix E – Definitions 49  Take the incoming information on decisions and actions taken by the various participants;  Determine the effects of those steps on the scenario and individual participants/teams;  Determine how new injections of scenario information (“injects”) affect the unfolding scenario;  And relay this new information about the changing scenario to the monitors. Individual monitors will sit with the participating individuals or teams. They will:  Observe participants’ actions, decisions, and procedures, including their effectiveness.  Note these observations during the exercise for later evaluation.  Report the participants’ actions back to the exercise management.  Relay additional information from exercise management to participants as the scenario unfolds, either due to the actions (and their effects) taken by the various participants, or due to pre-planned scenario injects.  And keep participants on track, for example by preventing participants from fighting the scenario or starting discussions about unrelated issues things. Examples:  [NO] One expert reported that they usually have one observer in each of the groups that exercise. The observer stays in contact with exercise management whenever necessary, also to perform relevant assistance or changes locally. He/she takes notes throughout the exercise on problem solving, group dynamics and other relevant issues. He/she also conducts a brief (usually 30-minutes long) “hot wash-up” with those participants after each major section of the exercise to immediately collect thoughts and observations from participants while the thoughts are fresh.  [NL] “At every crisis management team at every level an observer was stationed. The observers made reports on progress, on process, on strong and weak actions of the teams.”  [UK] “Notes are taken by a planner who is present in the room where the play takes place. These notes are relayed to the planners to assess the next inject.”
  • 50. Good Practice Guide on National Exercises50  Ensure that there is a central exercise management team prepared to control the scenario, receive updates on actions taken by participants, integrate this information with the scenario, and distribute this information back to participants, via the monitors.  Ensure that there is a clear structure and process for the monitoring team to follow, including the details they should watch for in evaluating the participants; procedures for communicating with the exercise managers; and procedures for relaying new information to the participants 5.3 Scenario Injects During the course of the exercise, the scenario needs to be managed and adapted in response to the actions of participants and pre-planned injects of new information. This process is crucial to the success of the exercise. The moderator centrally controls the exercise, either with a software tool developed for the exercise, or with a scenario book. The moderator requires incoming information for all of the participants, relayed by the monitors located on site with each team of participants. A communications system may be needed specially to keep the moderator and monitors in communication. As the moderator determines the changes required, he or she will communicate them to moderators to pass on to participants. Many of the injects will be planned in advance. Some of them will only be optional, for use by the moderator if needed. The injects are designed to simulate the way a real incident would unfold, so as in the real world, they may include incomplete or possibly flawed information about the theoretical incident. Many exercises simulate media reports as one way to inject new developments. Participants then receive these fake reports, similar to the way that such information is likely to be distributed in a real incident. Other injects will simulate other sources of the information, such as network monitoring tools, suppliers, customers, emergency services, etc.  Managing scenario injects effectively requires very effective communication between the moderator and monitors.  The moderator must be able to efficiently digest the incoming information from participants (via the monitors), integrate it into the pre-planned scenario, and decide how next steps should

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